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U.S. GOVERNMENT AGENCY SETTLES FRAUD CASE AGAINST GEORGIA COMMODITY TRADING ADVISOR WHO WAS A REPEAT OFFENDER; Defendant Ellery Coleman Ordered to Pay a Penalty of up to $170,000 , 4634-02 |
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TEXAS COMMODITY BROKER COMMITTED SOLICITATION FRAUD; In CFTC Action, D. Michael Sheaves Fined $50,000 and Ordered to Pay Restitution for Fraudulently Failing to Advise Prospective Clients of Significant Trading Losses , 4633-02 |
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CFTC's Technology Advisory Committee to Meet Wednesday, April 24, 2002 , 4632-02 |
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Commodity Futures Trading Commission Proposes Amendments to Registration Rules to Accommodate Online Registration , 4631-02 |
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CFTC Announces the Appointment of Sandra J. Canery as Director of the Commission's EEO , 4630-02 |
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CFTC SETTLES COMMODITY FRAUD SOLICITATION CASE AGAINST CALIFORNIA TRADING SYSTEM DEVELOPER; Defendant Abdullah Alsafari Barred from Further Fraudulent Conduct in Violation of Federal Commodities Laws , 4629-02 |
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FLORIDA COMMODITY TRADING SYSTEM DEVELOPER AND NEW YORK PUBLISHER SETTLE CFTC FRAUD ACTION; CFTC Finds that George Angell, TradeWins Publishing and its President, Stephen Schmidt, Fraudulently Marketed Commodity Trading System , 4628-02 |
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CFTC Staff Allows Eurex Duetschland's Futures Contracts Based on the Dow Jones STOXX 600 Banking Sector Index and the Dow Jones EURO STOXX Banking Sector Index to be Offered and Sold in the United States , 4627-02 |
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THREE FORMER EMPLOYEES OF CHICAGO COMMODITY FIRM SETTLE GOVERNMENT ACTION FOR FRAUDULENT TRADING; Defendants Martin Brown, Geoffrey S. Thompson, and Ydiyell Howard Prohibited From Trading in the Commodity Markets , 4626-02 |
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Commodity Futures Trading Commission's Division of Trading and Markets Issues Advisory Concerning Foreign Currency Trading by Retail Customers , 4625-02 |
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CFTC SETTLES FRAUD ACTION AGAINST WEST VIRGINIA COMMODITY POOL OPERATOR; Defendants Robert L. Dormagen and Delta Financial Corporation Permanently Barred From Trading Futures or Options , 4624-02 |
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CFTC SETTLES CHARGES AGAINST MINNESOTA DEFENDANTS IN COMMODITY POOL FRAUD CASE; Leonard Nauman and His Two Companies, Pension America, Inc., and Futures Profit Making, LLC, Are Permanently Barred From Trading For Others , 4623-02 |
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LOS ANGELES COMMODITY TRADER SETTLES CFTC FRAUD ACTION; Alfred Gladstone Ordered to Pay Up To $171,000 in Restitution and Civil Monetary Penalty Pursuant to Payment Plan and Agrees Never to Seek CFTC Registration , 4622-02 |
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CFTC FILES ENFORCEMENT ACTION AGAINST FOUR CSCE FLOOR BROKERS, CHARGING THEM WITH UNLAWFULLY TRADING COFFEE FUTURES; Joseph Defrancesco, Ronald Kilbride, and Brian Thornton Charged with Fraud, Bucketing of Customer Orders, and Reporting Non-Bona Fide Prices; Defrancesco, Kilbride, Thornton, and Marc Greenstein Also Face Charges of Noncompetitive Trading, Illegal Wash Sales, and Accommodation Trades , 4621-02 |
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CFTC Obtains Dismissal of Martin Armstrong's Appeal for Release from Confinement , 4620-02 |
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CALIFORNIA COMMODITY TRADER CHARGED WITH MISAPPROPRIATING MORE THAN $500,000 IN CUSTOMER FUNDS AND VIOLATING PRIOR COMMISSION ORDER; CFTC Charges Mark Ross Weinberg With Fraudulently Soliciting Funds to Trade Commodity Futures; Federal Court Freezes Assets and Bars Destruction of Books and Records , 4619-02 |
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International Futures Regulators Meeting , 4618-02 |
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CFTC Releases Report on September 11th , 4617-02 |
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CFTC Announces Appointment of Gregory Mocek as Director of Enforcement , 4616-02 |
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FLORIDA COMMODITY TRADER CHARGED WITH MISAPPROPRIATING AT LEAST $1 MILLION IN CUSTOMER FUNDS AND VIOLATING PRIOR FEDERAL COURT ORDER; CFTC Charges Thomas Chilcott, Ted Whidden, and Leona Westbrook With Fraudulently Operating Commodities Trading Business Known As Trade Master of Southwest Florida; Federal Court Freezes Assets and Bars Destruction of Books and Records , 4615-02 |
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CFTC Announces Appointment of Patrick J. McCarty as General Counsel , 4614-02 |
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CFTC Chairman James Newsome Announces the Selection of Alan C. Sobba as First Director of External Affairs , 4613-02 |
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CFTC Releases Follow-up Rule Enforcement Review of the Chicago Board of Trade , 4612-02 |
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CFTC CRACKS DOWN ON FOREIGN CURRENCY SCAMS NATIONWIDE; Nineteen Firms and Individuals Charged in Sweep With Selling Illegal Foreign Currency (Forex) Investments to the Retail Public; Actions Cap First Year of FOREX Initiative Using Reinforced Statutory Authority , 4611-02 |
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CFTC Warns the Public About Investment Opportunities Promising Large Profits and Little Risk, Even When Offered by Friends and Acquaintances , 4610-02 |
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FORMER CHIEF OPERATING OFFICER OF A COMMODITY FIRM SETTLES CFTC ACTION CHARGING SUPERVISORY FAILURES; CFTC Finds That Mark Vaughn Failed To Supervise Diligently The Handling Of Foreign Customer Accounts , 4609-02 |
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CFTC Recognizes New Exchange for Single-Stock Futures , 4608-02 |
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FLORIDA COMMODITY TRADING ADVISORS SETTLE CFTC FRAUD ACTION; Defendants Fred and Jeanne Monte Permanently Banned From Trading Futures or Options , 4607-02 |
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COMMODITY TRADER AND TWO MICHIGAN COMPANIES CHARGED WITH $2.9 MILLION FRAUD; GOVERNMENT ALLEGES FICTITIOUS TRADING; Federal Court Freezes Assets and Bars the Destruction of Books and Records , 4606-02 |
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NEW YORK COMMODITY BROKER CHARGED WITH ILLEGAL TRADING AND VIOLATION OF A COMMISSION ORDER; CFTC Alleges Branch Manager Patrick Ligammari Engaged in Non-Competitive Trading To Facilitate the Transfer of Over $300,000 Between Two Foreign Accounts , 4605-02 |
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CFTC Chairman Newsome to Address ABA Meeting , Advisory 07-02 |
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CFTC Publishes Privacy Brochure for Financial Intermediaries , 4604-02 |
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CFTC Provides Annual Report Guidance to Commodity Pool Operators , 4603-02 |
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CFTC SETTLES CASE AGAINST CHICAGO FIRM AND ITS MANAGING DIRECTOR; CFTC finds that Excellent USA and John Gallwas Failed to Supervise the Handling of Foreign Omnibus Accounts; CFTC Revokes Registration of Excellent USA as a Result of the Criminal Conviction of One of its Principals , 4602-02 |
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CFTC's Division of Trading and Markets Gives Additinal Relief to Firms Affected by 9/11 , 4601-02 |
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CFTC Announces Agency Restructuring , 4600-02 |
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CFTC Chairman Newsome Testifies before Senate Energy Committee , 4599-02 |
